Defendant Name: James L. Hertz

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of James L. Hertz
First Document Date 07-Jul-2011
Initial Filing Format Administrative Action
File Number 3-14455
Allegation Type Municipal Securities & Public Pensions



First Resolution Date

Related Documents:

34-64831 07-Jul-2011 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

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SEC v. J.P. Morgan Securities LLC
In the Matter of Alexander W. Wright